Last 12 months
Inside the activity.
6 purchase rows · 0 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 1 | 0 |
| Dec 2025 | 0 | 0 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 0 |
| Mar 2026 | 0 | 0 |
| Apr 2026 | 1 | 0 |
| May 2026 | 4 | 0 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 0 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| July 05, 2017 Filed Jul 5, 2017 18:13 UTC |
Ambros Reinhard J.Director
|
PurchaseCommon Stock | 266,667 | $15.00 | $4,000,005.00 |
DisclosureSEC source: 0000899243-17-017853 · doc4.xml · nonDerivative · entry 2 Ambros Reinhard J. · CIK 0001709690 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,544,182 F3 · shares: Novartis Bioventures Ltd., a wholly-owned indirect subsidiary of Novartis AG, acquired 266,667 shares of Common Stock in the Issuer's initial public offering. F2 · ownership.nature: The shares are directly owned by Novartis Bioventures Ltd. Novartis Bioventures Ltd. is a wholly-owned indirect subsidiary of Novartis AG, which is an indirect beneficial owner of the reported securities. The board of directors of Novartis Bioventures Ltd. has sole voting and investment power over such shares. None of the members of its board of directors has individual voting or investment power with respect to such shares and each disclaims beneficial ownership of such shares. The Reporting Person is an employee of a corporation that is affiliated with Novartis Bioventures Ltd., a position from which he will retire effective September 1, 2017. Dr. Ambros disclaims beneficial ownership of the shares held by Novartis Bioventures Ltd., except to the extent of his pecuniary interest arising as a result of his employment by such affiliate of Novartis Bioventures Ltd. Read SEC document |
| July 05, 2017 Filed Jul 5, 2017 18:13 UTC |
Ambros Reinhard J.Director
|
ConversionCommon Stock | 2,277,515 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-17-017853 · doc4.xml · nonDerivative · entry 1 Ambros Reinhard J. · CIK 0001709690 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,277,515 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The Series C, Series C-2, Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series C, Series C-2, Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F2 · ownership.nature: The shares are directly owned by Novartis Bioventures Ltd. Novartis Bioventures Ltd. is a wholly-owned indirect subsidiary of Novartis AG, which is an indirect beneficial owner of the reported securities. The board of directors of Novartis Bioventures Ltd. has sole voting and investment power over such shares. None of the members of its board of directors has individual voting or investment power with respect to such shares and each disclaims beneficial ownership of such shares. The Reporting Person is an employee of a corporation that is affiliated with Novartis Bioventures Ltd., a position from which he will retire effective September 1, 2017. Dr. Ambros disclaims beneficial ownership of the shares held by Novartis Bioventures Ltd., except to the extent of his pecuniary interest arising as a result of his employment by such affiliate of Novartis Bioventures Ltd. Read SEC document |
| July 05, 2017 Filed Jul 6, 2017 00:28 UTC |
KCK LTD.10% owner
|
ConversionSeries F Preferred Stock · Derivative | 763,552 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-017899 · doc4.xml · derivative · entry 4 KCK LTD. · CIK 0001657662 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 76,839 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F1 · derivative.exercise_date: The Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F1 · derivative.expiration_date: The Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. Read SEC document |
| July 05, 2017 Filed Jul 6, 2017 00:28 UTC |
KCK LTD.10% owner
|
ConversionSeries E-3 Preferred Stock · Derivative | 3,676,471 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-017899 · doc4.xml · derivative · entry 3 KCK LTD. · CIK 0001657662 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 369,977 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F1 · derivative.exercise_date: The Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F1 · derivative.expiration_date: The Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. Read SEC document |
| July 05, 2017 Filed Jul 6, 2017 00:28 UTC |
KCK LTD.10% owner
|
PurchaseCommon Stock | 200,000 | $15.00 | $3,000,000.00 |
DisclosureSEC source: 0000899243-17-017899 · doc4.xml · nonDerivative · entry 2 KCK LTD. · CIK 0001657662 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 646,817 Read SEC document |
| July 05, 2017 Filed Jul 6, 2017 00:28 UTC |
KCK LTD.10% owner
|
ConversionCommon Stock | 446,817 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-17-017899 · doc4.xml · nonDerivative · entry 1 KCK LTD. · CIK 0001657662 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 446,817 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. Read SEC document |
| July 05, 2017 Filed Jul 6, 2017 00:28 UTC |
Platt Jon B.10% owner
|
ConversionSeries E-1 Preferred Stock · Derivative | 258,912 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-017898 · doc4.xml · derivative · entry 5 Platt Jon B. · CIK 0001618173 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 26,055 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series C-2, Series D, Series E and Series E-1 Preferred Stock converted into Common Stock on a 9.937-for-one-basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series C-2, Series D, Series E and Series E-1 Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F1 · derivative.exercise_date: The Series C-2, Series D, Series E and Series E-1 Preferred Stock converted into Common Stock on a 9.937-for-one-basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series C-2, Series D, Series E and Series E-1 Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F1 · derivative.expiration_date: The Series C-2, Series D, Series E and Series E-1 Preferred Stock converted into Common Stock on a 9.937-for-one-basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series C-2, Series D, Series E and Series E-1 Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. Read SEC document |
| July 05, 2017 Filed Jul 6, 2017 00:28 UTC |
Platt Jon B.10% owner
|
ConversionSeries E Preferred Stock · Derivative | 298,500 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-017898 · doc4.xml · derivative · entry 4 Platt Jon B. · CIK 0001618173 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 30,039 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series C-2, Series D, Series E and Series E-1 Preferred Stock converted into Common Stock on a 9.937-for-one-basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series C-2, Series D, Series E and Series E-1 Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F1 · derivative.exercise_date: The Series C-2, Series D, Series E and Series E-1 Preferred Stock converted into Common Stock on a 9.937-for-one-basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series C-2, Series D, Series E and Series E-1 Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F1 · derivative.expiration_date: The Series C-2, Series D, Series E and Series E-1 Preferred Stock converted into Common Stock on a 9.937-for-one-basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series C-2, Series D, Series E and Series E-1 Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. Read SEC document |
| July 05, 2017 Filed Jul 6, 2017 00:28 UTC |
Platt Jon B.10% owner
|
ConversionSeries D Preferred Stock · Derivative | 127,158 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-017898 · doc4.xml · derivative · entry 3 Platt Jon B. · CIK 0001618173 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 12,796 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series C-2, Series D, Series E and Series E-1 Preferred Stock converted into Common Stock on a 9.937-for-one-basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series C-2, Series D, Series E and Series E-1 Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F1 · derivative.exercise_date: The Series C-2, Series D, Series E and Series E-1 Preferred Stock converted into Common Stock on a 9.937-for-one-basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series C-2, Series D, Series E and Series E-1 Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F1 · derivative.expiration_date: The Series C-2, Series D, Series E and Series E-1 Preferred Stock converted into Common Stock on a 9.937-for-one-basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series C-2, Series D, Series E and Series E-1 Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. Read SEC document |
| July 05, 2017 Filed Jul 6, 2017 00:28 UTC |
Platt Jon B.10% owner
|
ConversionSeries C-2 Preferred Stock · Derivative | 211,930 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-017898 · doc4.xml · derivative · entry 2 Platt Jon B. · CIK 0001618173 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 21,327 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series C-2, Series D, Series E and Series E-1 Preferred Stock converted into Common Stock on a 9.937-for-one-basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series C-2, Series D, Series E and Series E-1 Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F1 · derivative.exercise_date: The Series C-2, Series D, Series E and Series E-1 Preferred Stock converted into Common Stock on a 9.937-for-one-basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series C-2, Series D, Series E and Series E-1 Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F1 · derivative.expiration_date: The Series C-2, Series D, Series E and Series E-1 Preferred Stock converted into Common Stock on a 9.937-for-one-basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series C-2, Series D, Series E and Series E-1 Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. Read SEC document |
| July 05, 2017 Filed Jul 6, 2017 00:28 UTC |
Platt Jon B.10% owner
|
ConversionCommon Stock | 90,218 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-17-017898 · doc4.xml · nonDerivative · entry 1 Platt Jon B. · CIK 0001618173 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,318 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The Series C-2, Series D, Series E and Series E-1 Preferred Stock converted into Common Stock on a 9.937-for-one-basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series C-2, Series D, Series E and Series E-1 Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. Read SEC document |
| July 05, 2017 Filed Jul 6, 2017 00:25 UTC |
Kapnick ScottDirector · 10% owner
|
ConversionSeries F Preferred Stock · Derivative | 487,776 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-017894 · doc4.xml · derivative · entry 8 Kapnick Scott · CIK 0001709654 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 49,086 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series D, Series D-1, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one-basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series D-1, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F1 · derivative.exercise_date: The Series D, Series D-1, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one-basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series D-1, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F1 · derivative.expiration_date: The Series D, Series D-1, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one-basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series D-1, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. Read SEC document |
| July 05, 2017 Filed Jul 6, 2017 00:25 UTC |
Kapnick ScottDirector · 10% owner
|
ConversionSeries E-3 Preferred Stock · Derivative | 1,266,130 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-017894 · doc4.xml · derivative · entry 7 Kapnick Scott · CIK 0001709654 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 127,415 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series D, Series D-1, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one-basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series D-1, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F1 · derivative.exercise_date: The Series D, Series D-1, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one-basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series D-1, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F1 · derivative.expiration_date: The Series D, Series D-1, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one-basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series D-1, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. Read SEC document |
| July 05, 2017 Filed Jul 6, 2017 00:25 UTC |
Kapnick ScottDirector · 10% owner
|
ConversionSeries E-2 Preferred Stock · Derivative | 612,002 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-017894 · doc4.xml · derivative · entry 6 Kapnick Scott · CIK 0001709654 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 61,588 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series D, Series D-1, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one-basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series D-1, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F1 · derivative.exercise_date: The Series D, Series D-1, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one-basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series D-1, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F1 · derivative.expiration_date: The Series D, Series D-1, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one-basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series D-1, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. Read SEC document |
| July 05, 2017 Filed Jul 6, 2017 00:25 UTC |
Kapnick ScottDirector · 10% owner
|
ConversionSeries D-1 Preferred Stock · Derivative | 363,636 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-017894 · doc4.xml · derivative · entry 5 Kapnick Scott · CIK 0001709654 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 36,594 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series D, Series D-1, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one-basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series D-1, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F1 · derivative.exercise_date: The Series D, Series D-1, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one-basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series D-1, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F1 · derivative.expiration_date: The Series D, Series D-1, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one-basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series D-1, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. Read SEC document |
| July 05, 2017 Filed Jul 6, 2017 00:25 UTC |
Kapnick ScottDirector · 10% owner
|
ConversionSeries D Preferred Stock · Derivative | 106,856 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-017894 · doc4.xml · derivative · entry 4 Kapnick Scott · CIK 0001709654 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 10,753 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series D, Series D-1, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one-basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series D-1, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F1 · derivative.exercise_date: The Series D, Series D-1, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one-basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series D-1, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F1 · derivative.expiration_date: The Series D, Series D-1, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one-basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series D-1, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. Read SEC document |
| July 05, 2017 Filed Jul 6, 2017 00:25 UTC |
Kapnick ScottDirector · 10% owner
|
PurchaseCommon Stock | 66,666 | $15.00 | $999,990.00 |
DisclosureSEC source: 0000899243-17-017894 · doc4.xml · nonDerivative · entry 3 Kapnick Scott · CIK 0001709654 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 521,049 F2 · ownership.nature: These shares are directly owned by Jake86 LLC, for which the Reporting Person serves as investment manager. The Reporting Person disclaims beneficial ownership of the shares held by Jake86 LLC, except to the extent of his indirect pecuniary interest therein. Read SEC document |
| July 05, 2017 Filed Jul 6, 2017 00:25 UTC |
Kapnick ScottDirector · 10% owner
|
PurchaseCommon Stock | 159,307 | $15.00 | $2,389,605.00 |
DisclosureSEC source: 0000899243-17-017894 · doc4.xml · nonDerivative · entry 2 Kapnick Scott · CIK 0001709654 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 454,383 Read SEC document |
| July 05, 2017 Filed Jul 6, 2017 00:25 UTC |
Kapnick ScottDirector · 10% owner
|
ConversionCommon Stock | 285,438 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-17-017894 · doc4.xml · nonDerivative · entry 1 Kapnick Scott · CIK 0001709654 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 295,076 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The Series D, Series D-1, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one-basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series D-1, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. Read SEC document |
| July 05, 2017 Filed Jul 6, 2017 18:16 UTC |
EXCEL MEDICAL FUND LP10% owner
Gullans Steven R. Ph.D.10% owner
Blume Frederick R.10% owner
Enriquez Juan10% owner
Excel Medical Ventures, LLC10% owner
|
ConversionSeries F Preferred Stock · Derivative | 1,083,119 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-018010 · doc4.xml · derivative · entry 6 EXCEL MEDICAL FUND LP · CIK 0001428044 · 10% owner Gullans Steven R. Ph.D. · CIK 0001571997 · 10% owner Blume Frederick R. · CIK 0001572066 · 10% owner Enriquez Juan · CIK 0001572090 · 10% owner Excel Medical Ventures, LLC · CIK 0001571999 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 108,998 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F1 · derivative.exercise_date: The Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F1 · derivative.expiration_date: The Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F2 · ownership.direct: Excel Medical Ventures, LLC is the general partner of Excel Medical Fund, L.P. Steven R. Gullans, Frederick R. Blume and Juan Enriquez are the Managing Directors of Excel Medical Ventures, LLC. Excel Medical Ventures, LLC and each of these individuals may be deemed to share voting and dispositive power with respect to all shares held by Excel Medical Fund, L.P. Each of the filing persons disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein. Read SEC document |
| July 05, 2017 Filed Jul 6, 2017 18:16 UTC |
EXCEL MEDICAL FUND LP10% owner
Gullans Steven R. Ph.D.10% owner
Blume Frederick R.10% owner
Enriquez Juan10% owner
Excel Medical Ventures, LLC10% owner
|
ConversionSeries E-3 Preferred Stock · Derivative | 1,153,606 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-018010 · doc4.xml · derivative · entry 5 EXCEL MEDICAL FUND LP · CIK 0001428044 · 10% owner Gullans Steven R. Ph.D. · CIK 0001571997 · 10% owner Blume Frederick R. · CIK 0001572066 · 10% owner Enriquez Juan · CIK 0001572090 · 10% owner Excel Medical Ventures, LLC · CIK 0001571999 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 116,091 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F1 · derivative.exercise_date: The Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F1 · derivative.expiration_date: The Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F2 · ownership.direct: Excel Medical Ventures, LLC is the general partner of Excel Medical Fund, L.P. Steven R. Gullans, Frederick R. Blume and Juan Enriquez are the Managing Directors of Excel Medical Ventures, LLC. Excel Medical Ventures, LLC and each of these individuals may be deemed to share voting and dispositive power with respect to all shares held by Excel Medical Fund, L.P. Each of the filing persons disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein. Read SEC document |
| July 05, 2017 Filed Jul 6, 2017 18:16 UTC |
EXCEL MEDICAL FUND LP10% owner
Gullans Steven R. Ph.D.10% owner
Blume Frederick R.10% owner
Enriquez Juan10% owner
Excel Medical Ventures, LLC10% owner
|
ConversionSeries E-2 Preferred Stock · Derivative | 1,329,993 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-018010 · doc4.xml · derivative · entry 4 EXCEL MEDICAL FUND LP · CIK 0001428044 · 10% owner Gullans Steven R. Ph.D. · CIK 0001571997 · 10% owner Blume Frederick R. · CIK 0001572066 · 10% owner Enriquez Juan · CIK 0001572090 · 10% owner Excel Medical Ventures, LLC · CIK 0001571999 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 133,842 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F1 · derivative.exercise_date: The Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F1 · derivative.expiration_date: The Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F2 · ownership.direct: Excel Medical Ventures, LLC is the general partner of Excel Medical Fund, L.P. Steven R. Gullans, Frederick R. Blume and Juan Enriquez are the Managing Directors of Excel Medical Ventures, LLC. Excel Medical Ventures, LLC and each of these individuals may be deemed to share voting and dispositive power with respect to all shares held by Excel Medical Fund, L.P. Each of the filing persons disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein. Read SEC document |
| July 05, 2017 Filed Jul 6, 2017 18:16 UTC |
EXCEL MEDICAL FUND LP10% owner
Gullans Steven R. Ph.D.10% owner
Blume Frederick R.10% owner
Enriquez Juan10% owner
Excel Medical Ventures, LLC10% owner
|
ConversionSeries D Preferred Stock · Derivative | 5,934,050 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-018010 · doc4.xml · derivative · entry 3 EXCEL MEDICAL FUND LP · CIK 0001428044 · 10% owner Gullans Steven R. Ph.D. · CIK 0001571997 · 10% owner Blume Frederick R. · CIK 0001572066 · 10% owner Enriquez Juan · CIK 0001572090 · 10% owner Excel Medical Ventures, LLC · CIK 0001571999 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 597,167 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F1 · derivative.exercise_date: The Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F1 · derivative.expiration_date: The Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F2 · ownership.direct: Excel Medical Ventures, LLC is the general partner of Excel Medical Fund, L.P. Steven R. Gullans, Frederick R. Blume and Juan Enriquez are the Managing Directors of Excel Medical Ventures, LLC. Excel Medical Ventures, LLC and each of these individuals may be deemed to share voting and dispositive power with respect to all shares held by Excel Medical Fund, L.P. Each of the filing persons disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein. Read SEC document |
| July 05, 2017 Filed Jul 6, 2017 18:16 UTC |
EXCEL MEDICAL FUND LP10% owner
Gullans Steven R. Ph.D.10% owner
Blume Frederick R.10% owner
Enriquez Juan10% owner
Excel Medical Ventures, LLC10% owner
|
PurchaseCommon Stock | 60,000 | $15.00 | $900,000.00 |
DisclosureSEC source: 0000899243-17-018010 · doc4.xml · nonDerivative · entry 2 EXCEL MEDICAL FUND LP · CIK 0001428044 · 10% owner Gullans Steven R. Ph.D. · CIK 0001571997 · 10% owner Blume Frederick R. · CIK 0001572066 · 10% owner Enriquez Juan · CIK 0001572090 · 10% owner Excel Medical Ventures, LLC · CIK 0001571999 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,016,100 F2 · ownership.direct: Excel Medical Ventures, LLC is the general partner of Excel Medical Fund, L.P. Steven R. Gullans, Frederick R. Blume and Juan Enriquez are the Managing Directors of Excel Medical Ventures, LLC. Excel Medical Ventures, LLC and each of these individuals may be deemed to share voting and dispositive power with respect to all shares held by Excel Medical Fund, L.P. Each of the filing persons disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein. Read SEC document |
| July 05, 2017 Filed Jul 6, 2017 18:16 UTC |
EXCEL MEDICAL FUND LP10% owner
Gullans Steven R. Ph.D.10% owner
Blume Frederick R.10% owner
Enriquez Juan10% owner
Excel Medical Ventures, LLC10% owner
|
ConversionCommon Stock | 956,100 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-17-018010 · doc4.xml · nonDerivative · entry 1 EXCEL MEDICAL FUND LP · CIK 0001428044 · 10% owner Gullans Steven R. Ph.D. · CIK 0001571997 · 10% owner Blume Frederick R. · CIK 0001572066 · 10% owner Enriquez Juan · CIK 0001572090 · 10% owner Excel Medical Ventures, LLC · CIK 0001571999 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 956,100 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F2 · ownership.direct: Excel Medical Ventures, LLC is the general partner of Excel Medical Fund, L.P. Steven R. Gullans, Frederick R. Blume and Juan Enriquez are the Managing Directors of Excel Medical Ventures, LLC. Excel Medical Ventures, LLC and each of these individuals may be deemed to share voting and dispositive power with respect to all shares held by Excel Medical Fund, L.P. Each of the filing persons disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein. Read SEC document |
| July 05, 2017 Filed Jul 6, 2017 22:25 UTC |
Sigma Emerging Markets Ltd.10% owner
|
ConversionSeries F Preferred Stock · Derivative | 2,316,176 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-018013 · doc4.xml · derivative · entry 3 Sigma Emerging Markets Ltd. · CIK 0001709926 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 233,086 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series F Preferred Stock converted into Common Stock on a 9.937-for-one-basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F1 · derivative.exercise_date: The Series F Preferred Stock converted into Common Stock on a 9.937-for-one-basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F1 · derivative.expiration_date: The Series F Preferred Stock converted into Common Stock on a 9.937-for-one-basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. Read SEC document |
| July 05, 2017 Filed Jul 6, 2017 22:25 UTC |
Sigma Emerging Markets Ltd.10% owner
|
PurchaseCommon Stock | 190,000 | $15.00 | $2,850,000.00 |
DisclosureSEC source: 0000899243-17-018013 · doc4.xml · nonDerivative · entry 2 Sigma Emerging Markets Ltd. · CIK 0001709926 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 423,086 Read SEC document |
| July 05, 2017 Filed Jul 6, 2017 22:25 UTC |
Sigma Emerging Markets Ltd.10% owner
|
ConversionCommon Stock | 233,086 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-17-018013 · doc4.xml · nonDerivative · entry 1 Sigma Emerging Markets Ltd. · CIK 0001709926 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 233,086 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The Series F Preferred Stock converted into Common Stock on a 9.937-for-one-basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. Read SEC document |
| July 05, 2017 Filed Jul 6, 2017 22:26 UTC |
Gallagher Brian M. Jr.Director
|
ConversionSeries F Preferred Stock · Derivative | 1,979,188 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-018014 · doc4.xml · derivative · entry 6 Gallagher Brian M. Jr. · CIK 0001709976 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 199,173 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series D, Series E-2, Series E-3 and Series F Preferred converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series E-2, Series E-3 and Series F Preferred were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F1 · derivative.exercise_date: The Series D, Series E-2, Series E-3 and Series F Preferred converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series E-2, Series E-3 and Series F Preferred were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F1 · derivative.expiration_date: The Series D, Series E-2, Series E-3 and Series F Preferred converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series E-2, Series E-3 and Series F Preferred were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2 · ownership.nature: S.R. One, Limited, an indirect wholly-owned subsidiary of GlaxoSmithKline plc, is the record holder of these shares. Dr. Brian M. Gallagher, Jr. is a partner and Vice President at S.R. One, Limited and an employee of GlaxoSmithKline LLC, an indirect wholly-owned subsidiary of GlaxoSmithKline plc. Dr. Gallagher disclaims beneficial ownership of all shares held by S.R. One, Limited and this report shall not be deemed an admission of beneficial ownership of such shares for the purpose of Section 16 or for any other purpose except to the extent of his pecuniary interest therein. Read SEC document |
| July 05, 2017 Filed Jul 6, 2017 22:26 UTC |
Gallagher Brian M. Jr.Director
|
ConversionSeries E-3 Preferred Stock · Derivative | 1,276,389 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-018014 · doc4.xml · derivative · entry 5 Gallagher Brian M. Jr. · CIK 0001709976 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 128,448 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series D, Series E-2, Series E-3 and Series F Preferred converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series E-2, Series E-3 and Series F Preferred were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F1 · derivative.exercise_date: The Series D, Series E-2, Series E-3 and Series F Preferred converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series E-2, Series E-3 and Series F Preferred were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F1 · derivative.expiration_date: The Series D, Series E-2, Series E-3 and Series F Preferred converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series E-2, Series E-3 and Series F Preferred were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2 · ownership.nature: S.R. One, Limited, an indirect wholly-owned subsidiary of GlaxoSmithKline plc, is the record holder of these shares. Dr. Brian M. Gallagher, Jr. is a partner and Vice President at S.R. One, Limited and an employee of GlaxoSmithKline LLC, an indirect wholly-owned subsidiary of GlaxoSmithKline plc. Dr. Gallagher disclaims beneficial ownership of all shares held by S.R. One, Limited and this report shall not be deemed an admission of beneficial ownership of such shares for the purpose of Section 16 or for any other purpose except to the extent of his pecuniary interest therein. Read SEC document |
| July 05, 2017 Filed Jul 6, 2017 22:26 UTC |
Gallagher Brian M. Jr.Director
|
ConversionSeries E-2 Preferred Stock · Derivative | 1,471,551 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-018014 · doc4.xml · derivative · entry 4 Gallagher Brian M. Jr. · CIK 0001709976 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 148,088 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series D, Series E-2, Series E-3 and Series F Preferred converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series E-2, Series E-3 and Series F Preferred were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F1 · derivative.exercise_date: The Series D, Series E-2, Series E-3 and Series F Preferred converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series E-2, Series E-3 and Series F Preferred were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F1 · derivative.expiration_date: The Series D, Series E-2, Series E-3 and Series F Preferred converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series E-2, Series E-3 and Series F Preferred were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2 · ownership.nature: S.R. One, Limited, an indirect wholly-owned subsidiary of GlaxoSmithKline plc, is the record holder of these shares. Dr. Brian M. Gallagher, Jr. is a partner and Vice President at S.R. One, Limited and an employee of GlaxoSmithKline LLC, an indirect wholly-owned subsidiary of GlaxoSmithKline plc. Dr. Gallagher disclaims beneficial ownership of all shares held by S.R. One, Limited and this report shall not be deemed an admission of beneficial ownership of such shares for the purpose of Section 16 or for any other purpose except to the extent of his pecuniary interest therein. Read SEC document |
| July 05, 2017 Filed Jul 6, 2017 22:26 UTC |
Gallagher Brian M. Jr.Director
|
ConversionSeries D Preferred Stock · Derivative | 6,781,770 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-018014 · doc4.xml · derivative · entry 3 Gallagher Brian M. Jr. · CIK 0001709976 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 682,476 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series D, Series E-2, Series E-3 and Series F Preferred converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series E-2, Series E-3 and Series F Preferred were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F1 · derivative.exercise_date: The Series D, Series E-2, Series E-3 and Series F Preferred converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series E-2, Series E-3 and Series F Preferred were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F1 · derivative.expiration_date: The Series D, Series E-2, Series E-3 and Series F Preferred converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series E-2, Series E-3 and Series F Preferred were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2 · ownership.nature: S.R. One, Limited, an indirect wholly-owned subsidiary of GlaxoSmithKline plc, is the record holder of these shares. Dr. Brian M. Gallagher, Jr. is a partner and Vice President at S.R. One, Limited and an employee of GlaxoSmithKline LLC, an indirect wholly-owned subsidiary of GlaxoSmithKline plc. Dr. Gallagher disclaims beneficial ownership of all shares held by S.R. One, Limited and this report shall not be deemed an admission of beneficial ownership of such shares for the purpose of Section 16 or for any other purpose except to the extent of his pecuniary interest therein. Read SEC document |
| July 05, 2017 Filed Jul 6, 2017 22:26 UTC |
Gallagher Brian M. Jr.Director
|
PurchaseCommon Stock | 273,333 | $15.00 | $4,099,995.00 |
DisclosureSEC source: 0000899243-17-018014 · doc4.xml · nonDerivative · entry 2 Gallagher Brian M. Jr. · CIK 0001709976 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,431,519 F2 · ownership.nature: S.R. One, Limited, an indirect wholly-owned subsidiary of GlaxoSmithKline plc, is the record holder of these shares. Dr. Brian M. Gallagher, Jr. is a partner and Vice President at S.R. One, Limited and an employee of GlaxoSmithKline LLC, an indirect wholly-owned subsidiary of GlaxoSmithKline plc. Dr. Gallagher disclaims beneficial ownership of all shares held by S.R. One, Limited and this report shall not be deemed an admission of beneficial ownership of such shares for the purpose of Section 16 or for any other purpose except to the extent of his pecuniary interest therein. Read SEC document |
| July 05, 2017 Filed Jul 6, 2017 22:26 UTC |
Gallagher Brian M. Jr.Director
|
ConversionCommon Stock | 1,158,186 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-17-018014 · doc4.xml · nonDerivative · entry 1 Gallagher Brian M. Jr. · CIK 0001709976 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,158,186 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The Series D, Series E-2, Series E-3 and Series F Preferred converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series E-2, Series E-3 and Series F Preferred were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2 · ownership.nature: S.R. One, Limited, an indirect wholly-owned subsidiary of GlaxoSmithKline plc, is the record holder of these shares. Dr. Brian M. Gallagher, Jr. is a partner and Vice President at S.R. One, Limited and an employee of GlaxoSmithKline LLC, an indirect wholly-owned subsidiary of GlaxoSmithKline plc. Dr. Gallagher disclaims beneficial ownership of all shares held by S.R. One, Limited and this report shall not be deemed an admission of beneficial ownership of such shares for the purpose of Section 16 or for any other purpose except to the extent of his pecuniary interest therein. Read SEC document |
| July 05, 2017 Filed Jul 6, 2017 22:14 UTC |
Satter Muneer A10% owner
|
ConversionSeries F Preferred Stock · Derivative | 247,398 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-018008 · doc4.xml · derivative · entry 6 Satter Muneer A · CIK 0001315797 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 24,896 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one-basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F1 · derivative.exercise_date: The Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one-basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F1 · derivative.expiration_date: The Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one-basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2 · ownership.nature: These shares are held by the Muneer A. Satter Revocable Trust and various other trusts and entities for which the Reporting Person serves as trustee, investment advisor or manager and, in such capacity, has sole voting and dispositive power over all such shares. Read SEC document |
| July 05, 2017 Filed Jul 6, 2017 22:14 UTC |
Satter Muneer A10% owner
|
ConversionSeries E-3 Preferred Stock · Derivative | 159,548 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-018008 · doc4.xml · derivative · entry 5 Satter Muneer A · CIK 0001315797 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 16,055 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one-basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F1 · derivative.exercise_date: The Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one-basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F1 · derivative.expiration_date: The Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one-basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2 · ownership.nature: These shares are held by the Muneer A. Satter Revocable Trust and various other trusts and entities for which the Reporting Person serves as trustee, investment advisor or manager and, in such capacity, has sole voting and dispositive power over all such shares. Read SEC document |
| July 05, 2017 Filed Jul 6, 2017 22:14 UTC |
Satter Muneer A10% owner
|
ConversionSeries E-2 Preferred Stock · Derivative | 183,944 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-018008 · doc4.xml · derivative · entry 4 Satter Muneer A · CIK 0001315797 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 18,511 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one-basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F1 · derivative.exercise_date: The Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one-basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F1 · derivative.expiration_date: The Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one-basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2 · ownership.nature: These shares are held by the Muneer A. Satter Revocable Trust and various other trusts and entities for which the Reporting Person serves as trustee, investment advisor or manager and, in such capacity, has sole voting and dispositive power over all such shares. Read SEC document |
| July 05, 2017 Filed Jul 6, 2017 22:14 UTC |
Satter Muneer A10% owner
|
ConversionSeries D Preferred Stock · Derivative | 847,721 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-018008 · doc4.xml · derivative · entry 3 Satter Muneer A · CIK 0001315797 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 85,309 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one-basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F1 · derivative.exercise_date: The Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one-basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F1 · derivative.expiration_date: The Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one-basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2 · ownership.nature: These shares are held by the Muneer A. Satter Revocable Trust and various other trusts and entities for which the Reporting Person serves as trustee, investment advisor or manager and, in such capacity, has sole voting and dispositive power over all such shares. Read SEC document |
| July 05, 2017 Filed Jul 6, 2017 22:14 UTC |
Satter Muneer A10% owner
|
PurchaseCommon Stock | 33,333 | $15.00 | $499,995.00 |
DisclosureSEC source: 0000899243-17-018008 · doc4.xml · nonDerivative · entry 2 Satter Muneer A · CIK 0001315797 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 178,106 F2 · ownership.nature: These shares are held by the Muneer A. Satter Revocable Trust and various other trusts and entities for which the Reporting Person serves as trustee, investment advisor or manager and, in such capacity, has sole voting and dispositive power over all such shares. Read SEC document |
| July 05, 2017 Filed Jul 6, 2017 22:14 UTC |
Satter Muneer A10% owner
|
ConversionCommon Stock | 144,773 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-17-018008 · doc4.xml · nonDerivative · entry 1 Satter Muneer A · CIK 0001315797 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 144,773 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one-basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2 · ownership.nature: These shares are held by the Muneer A. Satter Revocable Trust and various other trusts and entities for which the Reporting Person serves as trustee, investment advisor or manager and, in such capacity, has sole voting and dispositive power over all such shares. Read SEC document |
| July 05, 2017 Filed Jul 7, 2017 20:24 UTC |
APPLE TREE PARTNERS II LP10% owner
|
ConversionSeries D Preferred Stock · Derivative | 6,781,770 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-018102 · doc4.xml · derivative · entry 8 APPLE TREE PARTNERS II LP · CIK 0001143789 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 682,476 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: The Series B, Series C-1, Series C-2 and Series D Preferred Stock converted into Common Stock on a 9.937-for-one-basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B, Series C-1, Series C-2 and Series D Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2 · derivative.exercise_date: The Series B, Series C-1, Series C-2 and Series D Preferred Stock converted into Common Stock on a 9.937-for-one-basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B, Series C-1, Series C-2 and Series D Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2 · derivative.expiration_date: The Series B, Series C-1, Series C-2 and Series D Preferred Stock converted into Common Stock on a 9.937-for-one-basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B, Series C-1, Series C-2 and Series D Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F3 · ownership.direct: Dr. Seth L. Harrison is a principal of the general partner of Apple Tree Partners II, L.P., and Dr. Harrison disclaims beneficial ownership of the shares held by Apple Tree Partners II, L.P., except to the extent of his pecuniary interest therein. Dr. Harrison has sole voting and investment power over the shares held by Apple Tree Partners II, L.P. Read SEC document |
| July 05, 2017 Filed Jul 7, 2017 20:24 UTC |
APPLE TREE PARTNERS II LP10% owner
|
ConversionSeries C-2 Preferred Stock · Derivative | 4,238,607 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-018102 · doc4.xml · derivative · entry 7 APPLE TREE PARTNERS II LP · CIK 0001143789 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 426,547 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: The Series B, Series C-1, Series C-2 and Series D Preferred Stock converted into Common Stock on a 9.937-for-one-basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B, Series C-1, Series C-2 and Series D Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2 · derivative.exercise_date: The Series B, Series C-1, Series C-2 and Series D Preferred Stock converted into Common Stock on a 9.937-for-one-basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B, Series C-1, Series C-2 and Series D Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2 · derivative.expiration_date: The Series B, Series C-1, Series C-2 and Series D Preferred Stock converted into Common Stock on a 9.937-for-one-basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B, Series C-1, Series C-2 and Series D Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F3 · ownership.direct: Dr. Seth L. Harrison is a principal of the general partner of Apple Tree Partners II, L.P., and Dr. Harrison disclaims beneficial ownership of the shares held by Apple Tree Partners II, L.P., except to the extent of his pecuniary interest therein. Dr. Harrison has sole voting and investment power over the shares held by Apple Tree Partners II, L.P. Read SEC document |
| July 05, 2017 Filed Jul 7, 2017 20:24 UTC |
APPLE TREE PARTNERS II LP10% owner
|
ConversionSeries C-1 Preferred Stock · Derivative | 2,967,025 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-018102 · doc4.xml · derivative · entry 6 APPLE TREE PARTNERS II LP · CIK 0001143789 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 298,583 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: The Series B, Series C-1, Series C-2 and Series D Preferred Stock converted into Common Stock on a 9.937-for-one-basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B, Series C-1, Series C-2 and Series D Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2 · derivative.exercise_date: The Series B, Series C-1, Series C-2 and Series D Preferred Stock converted into Common Stock on a 9.937-for-one-basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B, Series C-1, Series C-2 and Series D Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2 · derivative.expiration_date: The Series B, Series C-1, Series C-2 and Series D Preferred Stock converted into Common Stock on a 9.937-for-one-basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B, Series C-1, Series C-2 and Series D Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F3 · ownership.direct: Dr. Seth L. Harrison is a principal of the general partner of Apple Tree Partners II, L.P., and Dr. Harrison disclaims beneficial ownership of the shares held by Apple Tree Partners II, L.P., except to the extent of his pecuniary interest therein. Dr. Harrison has sole voting and investment power over the shares held by Apple Tree Partners II, L.P. Read SEC document |
| July 05, 2017 Filed Jul 7, 2017 20:24 UTC |
APPLE TREE PARTNERS II LP10% owner
|
ConversionSeries B Preferred Stock · Derivative | 3,706,056 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-018102 · doc4.xml · derivative · entry 5 APPLE TREE PARTNERS II LP · CIK 0001143789 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 372,955 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: The Series B, Series C-1, Series C-2 and Series D Preferred Stock converted into Common Stock on a 9.937-for-one-basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B, Series C-1, Series C-2 and Series D Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2 · derivative.exercise_date: The Series B, Series C-1, Series C-2 and Series D Preferred Stock converted into Common Stock on a 9.937-for-one-basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B, Series C-1, Series C-2 and Series D Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2 · derivative.expiration_date: The Series B, Series C-1, Series C-2 and Series D Preferred Stock converted into Common Stock on a 9.937-for-one-basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B, Series C-1, Series C-2 and Series D Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F3 · ownership.direct: Dr. Seth L. Harrison is a principal of the general partner of Apple Tree Partners II, L.P., and Dr. Harrison disclaims beneficial ownership of the shares held by Apple Tree Partners II, L.P., except to the extent of his pecuniary interest therein. Dr. Harrison has sole voting and investment power over the shares held by Apple Tree Partners II, L.P. Read SEC document |
| July 05, 2017 Filed Jul 7, 2017 20:24 UTC |
APPLE TREE PARTNERS II LP10% owner
|
ConversionSeries A-1 Preferred Stock · Derivative | 615,384 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-018102 · doc4.xml · derivative · entry 4 APPLE TREE PARTNERS II LP · CIK 0001143789 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 6,192 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series A and Series A-1 Preferred Stock converted into Common Stock on a 99.37-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A and A-1 Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering.The shares had no expiration date. F1 · derivative.exercise_date: The Series A and Series A-1 Preferred Stock converted into Common Stock on a 99.37-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A and A-1 Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering.The shares had no expiration date. F1 · derivative.expiration_date: The Series A and Series A-1 Preferred Stock converted into Common Stock on a 99.37-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A and A-1 Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering.The shares had no expiration date. F3 · ownership.direct: Dr. Seth L. Harrison is a principal of the general partner of Apple Tree Partners II, L.P., and Dr. Harrison disclaims beneficial ownership of the shares held by Apple Tree Partners II, L.P., except to the extent of his pecuniary interest therein. Dr. Harrison has sole voting and investment power over the shares held by Apple Tree Partners II, L.P. Read SEC document |
| July 05, 2017 Filed Jul 7, 2017 20:24 UTC |
APPLE TREE PARTNERS II LP10% owner
|
ConversionSeries A Preferred Stock · Derivative | 1,250,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-018102 · doc4.xml · derivative · entry 3 APPLE TREE PARTNERS II LP · CIK 0001143789 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 12,579 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series A and Series A-1 Preferred Stock converted into Common Stock on a 99.37-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A and A-1 Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering.The shares had no expiration date. F1 · derivative.exercise_date: The Series A and Series A-1 Preferred Stock converted into Common Stock on a 99.37-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A and A-1 Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering.The shares had no expiration date. F1 · derivative.expiration_date: The Series A and Series A-1 Preferred Stock converted into Common Stock on a 99.37-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A and A-1 Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering.The shares had no expiration date. F3 · ownership.direct: Dr. Seth L. Harrison is a principal of the general partner of Apple Tree Partners II, L.P., and Dr. Harrison disclaims beneficial ownership of the shares held by Apple Tree Partners II, L.P., except to the extent of his pecuniary interest therein. Dr. Harrison has sole voting and investment power over the shares held by Apple Tree Partners II, L.P. Read SEC document |
| July 05, 2017 Filed Jul 7, 2017 20:24 UTC |
APPLE TREE PARTNERS II LP10% owner
|
ConversionCommon Stock | 1,780,564 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-17-018102 · doc4.xml · nonDerivative · entry 2 APPLE TREE PARTNERS II LP · CIK 0001143789 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,799,586 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · price: The Series B, Series C-1, Series C-2 and Series D Preferred Stock converted into Common Stock on a 9.937-for-one-basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B, Series C-1, Series C-2 and Series D Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F3 · ownership.direct: Dr. Seth L. Harrison is a principal of the general partner of Apple Tree Partners II, L.P., and Dr. Harrison disclaims beneficial ownership of the shares held by Apple Tree Partners II, L.P., except to the extent of his pecuniary interest therein. Dr. Harrison has sole voting and investment power over the shares held by Apple Tree Partners II, L.P. Read SEC document |
| July 05, 2017 Filed Jul 7, 2017 20:24 UTC |
APPLE TREE PARTNERS II LP10% owner
|
ConversionCommon Stock | 18,771 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-17-018102 · doc4.xml · nonDerivative · entry 1 APPLE TREE PARTNERS II LP · CIK 0001143789 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,022 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The Series A and Series A-1 Preferred Stock converted into Common Stock on a 99.37-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A and A-1 Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering.The shares had no expiration date. F3 · ownership.direct: Dr. Seth L. Harrison is a principal of the general partner of Apple Tree Partners II, L.P., and Dr. Harrison disclaims beneficial ownership of the shares held by Apple Tree Partners II, L.P., except to the extent of his pecuniary interest therein. Dr. Harrison has sole voting and investment power over the shares held by Apple Tree Partners II, L.P. Read SEC document |
| July 05, 2017 Filed Jul 7, 2017 23:13 UTC |
AJU IB Investment Co., Ltd.10% owner
|
ConversionSeries F Preferred Stock · Derivative | 483,501 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-018090 · doc4.xml · derivative · entry 5 AJU IB Investment Co., Ltd. · CIK 0001710065 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 48,656 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one-basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F1 · derivative.exercise_date: The Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one-basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F1 · derivative.expiration_date: The Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one-basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F3 · ownership.nature: The shares reported herein are held of record by AJU Growth & Healthcare Fund, which is managed by the Reporting Person. Read SEC document |
| July 05, 2017 Filed Jul 7, 2017 23:13 UTC |
AJU IB Investment Co., Ltd.10% owner
|
ConversionSeries E-3 Preferred Stock · Derivative | 4,411,765 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-018090 · doc4.xml · derivative · entry 4 AJU IB Investment Co., Ltd. · CIK 0001710065 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 443,973 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one-basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F1 · derivative.exercise_date: The Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one-basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F1 · derivative.expiration_date: The Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one-basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2 · ownership.nature: The shares reported herein are held of record by AJU Life Science Overseas Expansion Platform Fund, which is managed by AJU IB Investment (the "Reporting Person"). Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.